This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission.
Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months. View the latest SEC RegFlex agenda.
Rulemaking Activity Table
Issue Date
|
File Number
|
Rulemaking
|
Status
|
---|---|---|---|
Issue Date: | File Number:S7-27-15 |
Rulemaking:Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
|
Status:
Proposed
Rule
Transfer Agent Regulations; Extension of Comment Period
34-77172
|
Issue Date: | File Number:S7-02-16 |
Rulemaking:Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Trading and Markets
|
Status:
Proposed
Rule
Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act
34-77157
|
Issue Date: | File Number:S7-06-15 |
Rulemaking:Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets
|
Status:
Final
Rule
Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimi
34-77104
|
Issue Date: | File Number:S7-25-15 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers
34-76958
|
Issue Date: | File Number:S7-15-15 |
Rulemaking:Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Proposed
Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
34-76922
|
Issue Date: | File Number:S7-01-16 |
Rulemaking:Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
Corporation Finance
|
Status:
Interim Final
Rule
Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies
33-10003
|
Issue Date: | File Number:S7-27-15 |
Rulemaking:Transfer Agent Regulations; Extension of Comment Period
Trading and Markets
|
Status:
Concept
Release
Transfer Agent Regulations
34-76743
|
Issue Date: | File Number:S7-01-13 |
Rulemaking:Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Final
Rule
Regulation Systems Compliance and Integrity; Correction
34-73639A
|
Issue Date: | File Number:S7-25-15 |
Rulemaking:Disclosure of Payments by Resource Extraction Issuers
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Payments by Resource Extraction Issuers
34-76620
|
Issue Date: | File Number:S7-26-15 | Rulemaking:Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission |
Status:
Proposed
Rule
Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission
34-76624
|
Issue Date: | File Number:S7-24-15 |
Rulemaking:Use of Derivatives by Registered Investment Companies and Business Development Companies
Investment Management
|
Status:
Proposed
Rule
Use of Derivatives by Registered Investment Companies and Business Development Companies
IC-31933
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9987,
34-76619,
39-2508,
IC-31932
|
Issue Date: | File Number:S7-23-15 |
Rulemaking:Disclosure Update and Simplification
Corporation Finance
|
Status:
Proposed
Rule
Regulation of NMS Stock Alternative Trading Systems
34-76474
|
Issue Date: | File Number:S7-22-15 |
Rulemaking:Exemptions To Facilitate Intrastate and Regional Securities Offerings
Corporation Finance
|
Status:
Proposed
Rule
Exemptions To Facilitate Intrastate and Regional Securities Offerings
33-9973,
34-76319
|
Issue Date: | File Number:S7-09-13 |
Rulemaking:Crowdfunding
Corporation Finance, Trading and Markets
|
Status:
Final
Rule
Crowdfunding
33-9974,
34-76324
|
Issue Date: | File Number:S7-18-15 |
Rulemaking:Amendments to the Commission's Rules of Practice
General Counsel
|
Status:
Proposed
Rule
Amendments to the Commission's Rules of Practice
34-75976
|
Issue Date: | File Number:S7-19-15 |
Rulemaking:Amendments to the Commission's Rules of Practice (Conformed to Federal Register version) Effective Date: The final rules are effective January 29, 2021, except for Instruction 8 which is effective July 12, 2021 Compliance Date: April 12, 2021
General Counsel
|
Status:
Proposed
Rule
Amendments to the Commission's Rules of Practice
34-75977
|
Issue Date: | File Number:S7-16-15, S7-08-15 |
Rulemaking:Investment Company Liquidity Risk Management Programs
Investment Management
|
Status:
Proposed
Rule
Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release
33-9922,
IC-31835
|
Issue Date: | File Number:S7-07-11 |
Rulemaking:Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
|
Status:
Final
Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
IC-31828
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9911,
34-75918,
39-2506,
IC-31823
|
Issue Date: | File Number:S7-15-15 |
Rulemaking:Access to Data Obtained by Security-Based Swap Data Repositories
Trading and Markets
|
Status:
Proposed
Rule
Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement
34-75845
|
Issue Date: | File Number:S7-14-15 |
Rulemaking:Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
Trading and Markets
|
Status:
Proposed
Rule
Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps
34-75612
|
Issue Date: | File Number:S7-40-11 |
Rulemaking:Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
Trading and Markets
|
Status:
Final
Rule
Registration Process for Security-Based Swap Dealers and Major Security-Based Swap Participants
34-75611
|
Issue Date: | File Number:S7-07-13 |
Rulemaking:Pay Ratio Disclosure
Corporation Finance
|
Status:
Final
Rule
Pay Ratio Disclosure
33-9877,
34-75610,
33-9452
|
Issue Date: | File Number: | Rulemaking:Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934 |
Status:
Interpretive
Release
Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934
34-75592
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9874,
34-75586,
39-2505,
IC-31735
|
Issue Date: | File Number:S7-07-14 |
Rulemaking:Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
FOIA Services
|
Status:
Final
Rule
Freedom of Information Act Regulations: Fee Schedule, Addition of Appeals Time Frame, and Miscellaneous Administrative Changes
34-75388
|
Issue Date: | File Number:S7-13-15 |
Rulemaking:Possible Revisions To Audit Committee Disclosures
Chief Accountant, Corporation Finance
|
Status:
Concept
Release
Possible Revisions To Audit Committee Disclosures
33-9862,
34-75344
|
Issue Date: | File Number: | Rulemaking:Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor |
Status:
Interpretive
Release
Commission Guidance Regarding the Definition of the Terms "Spouse" and "Marriage" Following the Supreme Court's Decision in United States v. Windsor
33-9850
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9849,
34-75242,
39-2504,
IC-31680
|
Issue Date: | File Number:S7-08-15 |
Rulemaking:Investment Company Reporting Modernization
Investment Management
|
Status:
Proposed
Rule
Investment Company Reporting Modernization
33-9776,
33-10231,
34-75002,
IC-31610
|
Issue Date: | File Number:S7-09-15 |
Rulemaking:Form ADV and Investment Advisers Act Rules
Investment Management
|
Status:
Proposed
Rule
Amendments to Form ADV and Investment Advisers Act Rules
IA-4091
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9773,
34-74982,
39-2503,
IC-31604
|
Issue Date: | File Number:S7-16-11 |
Rulemaking:Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Interpretive
Release
Forward Contracts With Embedded Volumetric Optionality
34-74936
|
Issue Date: | File Number:S7-06-15 |
Rulemaking:Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception
Trading and Markets
|
Status:
Proposed
Rule
Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office
34-74834
|
Issue Date: | File Number:S7-07-15 |
Rulemaking:Pay Versus Performance
Corporation Finance
|
Status:
Proposed
Rule
Pay Versus Performance
34-74835
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9746,
34-74714,
39-2502,
IC-31551
|
Issue Date: | File Number:S7-05-15 |
Rulemaking:Exemption for Certain Exchange Members
Trading and Markets
|
Status:
Proposed
Rule
Exemption for Certain Exchange Members
34-74581
|
Issue Date: | File Number:S7-11-13 |
Rulemaking:Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
Corporation Finance
|
Status:
Final
Rule
Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A)
33-9741
|
Issue Date: | File Number:S7-03-15 |
Rulemaking:Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Proposed
Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-74245
|
Issue Date: | File Number:S7-35-10 |
Rulemaking:Security-Based Swap Data Repository Registration, Duties, and Core Principles
Trading and Markets
|
Status:
Final
Rule
Security-Based Swap Data Repository Registration, Duties, and Core Principles
34-74246
|
Issue Date: | File Number:S7-34-10 |
Rulemaking:Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
Trading and Markets
|
Status:
Final
Rule
Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information
34-74244
|
Issue Date: | File Number:S7-01-15 |
Rulemaking:Disclosure of Hedging by Employees, Officers and Directors
Corporation Finance
|
Status:
Proposed
Rule
Disclosure of Hedging by Employees, Officers and Directors
33-9723,
34-74232,
IC-31450
|
Issue Date: | File Number:S7-08-10 |
Rulemaking:Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Final
Rule
Asset-Backed Securities Disclosure and Registration
33-9720,
34-74194
|
Issue Date: | File Number:S7-12-14 |
Rulemaking:Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act
Corporation Finance
|
Status:
Proposed
Rule
Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the Jobs Act
33-9693,
34-73876,
33-10075A
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9692,
34-73868,
39-2499,
IC-31383
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Final
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3984
|
Issue Date: | File Number:S7-01-13 |
Rulemaking:Regulation Systems Compliance and Integrity
Trading and Markets
|
Status:
Final
Rule
Regulation Systems Compliance and Integrity
34-73639,
34-69606
|
Issue Date: | File Number:S7-16-11 |
Rulemaking:Further Definition of "Swap," "Security-Based Swap," and "Security-Based Swap Agreement"; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
Trading and Markets
|
Status:
Interpretive
Release
Forward Contracts With Embedded Volumetric Optionality
33-9681,
34-73584
|
Issue Date: | File Number:S7-14-11 |
Rulemaking:Credit Risk Retention
Corporation Finance
|
Status:
Final
Rule
Credit Risk Retention
34-73407
|
Issue Date: | File Number: | Rulemaking:Adoption of Updated EDGAR Filer Manual |
Status:
Final
Rule
Adoption of Updated EDGAR Filer Manual
33-9668,
34-73390,
39-2498,
IC-312941
|
Issue Date: | File Number: | Rulemaking:Delegation of Authority to the Chief Financial Officer |
Status:
Final
Rule
Delegation of Authority to the Chief Financial Officer
34-73229
|
Issue Date: | File Number:S7-09-14 |
Rulemaking:Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
Corporation Finance
|
Status:
Proposed
Rule
Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants
33-9643
|
Issue Date: | File Number:S7-08-10 |
Rulemaking:Asset-Backed Securities Disclosure and Registration
Corporation Finance
|
Status:
Final
Rule
Asset-Backed Securities Disclosure and Registration
33-9638,
34-72982
|
Issue Date: | File Number:S7-18-11 |
Rulemaking:Nationally Recognized Statistical Rating Organizations
Trading and Markets
|
Status:
Final
Rule
Nationally Recognized Statistical Rating Organizations
34-72936
|
Issue Date: | File Number:S7-23-07 | Rulemaking:Principal Trades with Certain Advisory Clients |
Status:
Proposed
Rule
Temporary Rule Regarding Principal Trades With Certain Advisory Clients
IA-3893
|
Issue Date: | File Number:S7-07-11 |
Rulemaking:Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
Investment Management
|
Status:
Proposed
Rule
Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule
IC-31184
|
Displaying 701 - 800 of 2714
Modified: Feb. 20, 2024